Chief Compliance Officer

A growing firm in the investment/wealth management sector is seeking an experienced GC/CCO to lead all legal and compliance functions. This executive will oversee enterprise‑wide legal strategy, regulatory compliance programs, and serve as a key member of the leadership team reporting directly to the CEO.

• Lead all corporate legal matters, including governance, contracts, litigation, risk management, and external counsel oversight.
• Oversee firm‑wide compliance programs (RIA/BD), regulatory filings, audits, exams, marketing review, and policy development.
• Provide executive‑level strategic guidance on legal, regulatory, and risk issues.
• Partner cross‑functionally with finance, operations, HR, marketing, and investment teams.
• Lead and develop legal/compliance staff; ensure adherence to SEC/FINRA regulations.

• JD and licensed attorney in good standing.
• 8+ years in compliance, legal, or risk within financial services (RIA/BD experience is a must
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• Professional certifications such as CSCP or CICCP preferred.
• Strong leadership, communication, and organizational skills.

This is a fully in-office role in Denver with full benefits (M/D/V, 401K contribution, stock options, etc.)